Form 4 for SER Serina Therapeutics, Inc.
Accepted 2025-02-03 00:00:00 ET · period of report 2024-06-06 · accession 0001104659-25-008610 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2025-02-03 | 2024-11-27+ | SER | Juvenescence Ltd | 10% | A - Grant | $10.00 | +1.00M | 3.27M | +44% | +$10.00M |
| DI | 2025-02-03 | 2024-06-06 | SER | Juvenescence Ltd | 10% | M - OptEx | $13.20 | +377.9K | 2.27M | +20% | +$4.99M |
| DI | 2025-02-03 | 2024-06-06 | SER | Juvenescence Ltd | 10% | M - OptEx | — | -377.9K | 755.7K | -33% | — |
| DI | 2025-02-03 | 2024-11-27 | SER | Juvenescence Ltd | 10% | D - Sale to Iss | — | -755.7K | 0 | -100% | — |
| DMI | 2025-02-03 | 2024-06-06+ | SER | Juvenescence Ltd | 10% | A - Grant | — | +1.13M | 377.9K | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-11-27 | A | A | 500,000 | $10.00 | 2,767,188 | I By Juv UK | — | — | (F3) On November 27, 2024, pursuant to certain agreements entered into among the Issuer, the Reporting Person and Juv UK dated November 26, 2024 (the "November Agreement"), the Reporting Person purchased 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and, in connection therewith, surrendered the Original Warrants and was issued 377,865 warrants to purchase shares of the Issuer's common stock (the "New Warrants"). The New Warrants have an exercise price of $18.00 per warrant, expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). On January 31, 2025, in accordance with the November Agreement, the Reporting Person purchased another 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and was issued 377,865 additional New Warrants. (F1) As previously reported, on March 26, 2024, the Issuer (formerly known as "AgeX Therapeutics, Inc.") completed its merger transaction with, inter alia, Serina Therapeutics, Inc. (the "Merger"). Following the closing of the Merger, the Reporting Person held 1,889,323 shares of the Issuer's common stock, which shares are included in Column 5. These shares are held by the Reporting Person's wholly owned subsidiary, JuvVentures (UK) ("Juv UK"). Additional details about the Merger and the transactions described in this report can be found in the Issuer's and the Reporting Person's previous filings with the Commission. |
| 2 | Common | Common Stock | 2024-06-06 | M | A | 377,865 | $13.20 | 2,267,188 | I By Juv UK | — | — | (F1) As previously reported, on March 26, 2024, the Issuer (formerly known as "AgeX Therapeutics, Inc.") completed its merger transaction with, inter alia, Serina Therapeutics, Inc. (the "Merger"). Following the closing of the Merger, the Reporting Person held 1,889,323 shares of the Issuer's common stock, which shares are included in Column 5. These shares are held by the Reporting Person's wholly owned subsidiary, JuvVentures (UK) ("Juv UK"). Additional details about the Merger and the transactions described in this report can be found in the Issuer's and the Reporting Person's previous filings with the Commission. (F2) On June 6, 2024, the Reporting Person exercised 377,865 warrants at an exercise price of $13.20 per warrant (the "Original Warrants"), representing one-third of the of the Original Warrants, which were issued to the Reporting Person in connection with a warrant dividend effected on March 18, 2024, Upon such exercise, the Reporting Person was issued 377,865 shares of the Issuer's common stock and 377,865 new warrants to purchase the Issuer's common stock at an exercise price of $18.00 (the "June Warrants"). The remaining 755,728 Original Warrants were surrendered in connection with the November Agreement described in footnote 3 below. The June Warrants expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). Prior to their surrender, the Original Warrants also had an expiration date of March 26, 2028. |
| 3 | Common | Common Stock | 2025-01-31 | A | A | 500,000 | $10.00 | 3,267,188 | I Bu Juv UK | — | — | (F3) On November 27, 2024, pursuant to certain agreements entered into among the Issuer, the Reporting Person and Juv UK dated November 26, 2024 (the "November Agreement"), the Reporting Person purchased 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and, in connection therewith, surrendered the Original Warrants and was issued 377,865 warrants to purchase shares of the Issuer's common stock (the "New Warrants"). The New Warrants have an exercise price of $18.00 per warrant, expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). On January 31, 2025, in accordance with the November Agreement, the Reporting Person purchased another 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and was issued 377,865 additional New Warrants. (F1) As previously reported, on March 26, 2024, the Issuer (formerly known as "AgeX Therapeutics, Inc.") completed its merger transaction with, inter alia, Serina Therapeutics, Inc. (the "Merger"). Following the closing of the Merger, the Reporting Person held 1,889,323 shares of the Issuer's common stock, which shares are included in Column 5. These shares are held by the Reporting Person's wholly owned subsidiary, JuvVentures (UK) ("Juv UK"). Additional details about the Merger and the transactions described in this report can be found in the Issuer's and the Reporting Person's previous filings with the Commission. |
| 4 | Derivative | Warrants | 2024-06-06 | M | D | 377,865 | — | 755,728 | I By Juv UK | $13.20 · — to — | 377,865 Common Stock | (F2) On June 6, 2024, the Reporting Person exercised 377,865 warrants at an exercise price of $13.20 per warrant (the "Original Warrants"), representing one-third of the of the Original Warrants, which were issued to the Reporting Person in connection with a warrant dividend effected on March 18, 2024, Upon such exercise, the Reporting Person was issued 377,865 shares of the Issuer's common stock and 377,865 new warrants to purchase the Issuer's common stock at an exercise price of $18.00 (the "June Warrants"). The remaining 755,728 Original Warrants were surrendered in connection with the November Agreement described in footnote 3 below. The June Warrants expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). Prior to their surrender, the Original Warrants also had an expiration date of March 26, 2028. |
| 5 | Derivative | Warrants | 2024-11-27 | D | D | 755,728 | — | 0 | I By Juv UK | $13.20 · — to — | 755,728 Common Stock | (F3) On November 27, 2024, pursuant to certain agreements entered into among the Issuer, the Reporting Person and Juv UK dated November 26, 2024 (the "November Agreement"), the Reporting Person purchased 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and, in connection therewith, surrendered the Original Warrants and was issued 377,865 warrants to purchase shares of the Issuer's common stock (the "New Warrants"). The New Warrants have an exercise price of $18.00 per warrant, expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). On January 31, 2025, in accordance with the November Agreement, the Reporting Person purchased another 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and was issued 377,865 additional New Warrants. |
| 6 | Derivative | Warrants | 2024-11-27 | A | A | 377,864 | — | 377,864 | I By Juv UK | $18.00 · — to — | 377,864 Common Stock | (F3) On November 27, 2024, pursuant to certain agreements entered into among the Issuer, the Reporting Person and Juv UK dated November 26, 2024 (the "November Agreement"), the Reporting Person purchased 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and, in connection therewith, surrendered the Original Warrants and was issued 377,865 warrants to purchase shares of the Issuer's common stock (the "New Warrants"). The New Warrants have an exercise price of $18.00 per warrant, expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). On January 31, 2025, in accordance with the November Agreement, the Reporting Person purchased another 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and was issued 377,865 additional New Warrants. |
| 7 | Derivative | Warrants | 2025-01-31 | A | A | 377,864 | — | 755,728 | I By Juv UK | $18.00 · — to — | 377,864 Common Stock | (F3) On November 27, 2024, pursuant to certain agreements entered into among the Issuer, the Reporting Person and Juv UK dated November 26, 2024 (the "November Agreement"), the Reporting Person purchased 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and, in connection therewith, surrendered the Original Warrants and was issued 377,865 warrants to purchase shares of the Issuer's common stock (the "New Warrants"). The New Warrants have an exercise price of $18.00 per warrant, expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). On January 31, 2025, in accordance with the November Agreement, the Reporting Person purchased another 500,000 shares of the Issuer's common stock at a purchase price of $10.00 per share and was issued 377,865 additional New Warrants. |
| 8 | Derivative | Warrants | 2024-06-06 | A | A | 377,865 | — | 377,865 | I By Juv UK | $18.00 · — to — | 377,865 Common Stock | (F2) On June 6, 2024, the Reporting Person exercised 377,865 warrants at an exercise price of $13.20 per warrant (the "Original Warrants"), representing one-third of the of the Original Warrants, which were issued to the Reporting Person in connection with a warrant dividend effected on March 18, 2024, Upon such exercise, the Reporting Person was issued 377,865 shares of the Issuer's common stock and 377,865 new warrants to purchase the Issuer's common stock at an exercise price of $18.00 (the "June Warrants"). The remaining 755,728 Original Warrants were surrendered in connection with the November Agreement described in footnote 3 below. The June Warrants expire on March 26, 2028 and are immediately exercisable (with each warrant exercisable for one share of the Issuer's common stock). Prior to their surrender, the Original Warrants also had an expiration date of March 26, 2028. |